POLICY: Federal Sanction Checks
Policy Number: HR-53
Effective Date: March 1, 2006
Revisions: - July 1, 2007
Responsible Officer: Senior Vice President of Health Affairs and Dean - DUCOM
I. PURPOSE:
To set policy and procedures for satisfaction of federal requirements to ensure that the Drexel University College of Medicine (DUCOM) does not employ individuals who are under federal exclusion or debarment.
II. ELIGIBILITY:
This policy applies to all College of Medicine faculty, employees, and vendors.
III. POLICY:
DUCOM will conduct federal sanction list screening as follows:
- All prospective new employees (faculty and staff) will be checked against the sanction list when determined to be a “finalist” for the position being considered but prior to being offered the position.
- All existing employees are required to sign an attestation during the annual conflict of interest process and give permission to review federal sanctions.
- Ongoing sanction checks are conducted on current employees (faculty and staff) and vendors to DUCOM on a quarterly basis. (January 1, April 1, July 1, October 1)
Sanctions Checks include the following federal lists, which may be updated from time to time to comply with applicable law:
- Office of Inspector General's (OIG) List of Excluded Individuals/Entities
- General Services Administration's (GSA) List of Contractors Excluded from Federal Procurement and Nonprocurement Programs
- Office of Foreign Assets Control's (OFAC) Specially Designated Nationals/Terrorist List
- U.S. Food and Drug Administration (FDA) Debarment List and Disqualified/Totally Restricted List for Clinical Investigators
The inquiries into the sanction status of all persons associated with DUCOM are intended to comply with federal and state law and are required as per the organization's Corporate Compliance Plan. (Federal law: 42 USC Section 1320a-7b (f))
DUCOM does not knowingly employ or retain persons in positions of trust who have demonstrated a propensity to engage in illegal activities and will take all reasonable and appropriate steps to comply with the laws requiring federal sanction checks; accordingly, all persons covered under this policy have an affirmative duty to notify DUCOM's Chief Compliance Officer if they are under federal exclusion or debarment or otherwise on a federal sanctions list. If a person has been excluded from participation in a federally funded or state funded healthcare program or if the finalist is unwilling to submit to a background check or sanctions check he/she may not be considered for employment, placement or to perform any services for or on behalf of DUCOM. All individuals found to have matching names found through the federal sanctions checks process shall have the right to review and deny any such findings and lists. The individual may provide information to clarify his/her identity as other than that of the listed individual and shall otherwise cooperate with the designated officials responsible for conducting the sanction checks.
IV. PROCEDURE:
A.) SCREENING AND HIRING PROCESS
1. Human Resources and Hiring Departments
• Human Resources is responsible for initiating the federal sanctions check process for new employees. All finalists are required to complete the form for Sanction Attestation and Authorization for Release of Information. The completed form is provided to the Chief Compliance Officer for the actual sanction check. Only finalists selected to fill positions are screened, not all applicants. Offers of employment or placement are made contingent upon satisfactory clearance.
• Finalists who indicate that they have been excluded, debarred or placed on the sanction(s) list will submit with their application any of the following information:
2) Details about the conviction(s) or sanction(s) including the date, their present status, e.g., debarred, fully sanctioned, reinstated, working under a Corporate Integrity Agreement.
The Chief Compliance Officer will verify the individual's identity with the government agency responsible for the sanction.
3.) Review Process Upon Discovery of Information:
•The Finalist is notified by the Chief Compliance Officer upon discovery of a name match with the sanction list check.
• Upon acknowledgement of the sanction by the employee: The Chief Compliance Officer will consult with the Vice President and Deputy General Counsel, as well as the Dean, Department Chair, Senior Vice President of Human Resources, Vice Provost of Research Compliance, or other individuals as determined to be appropriate in order to make decisions regarding an individual's employment at DUCOM.
• Upon denial of sanction by a finalist, the Chief Compliance Officer will confirm the sanction check results for applicability to the named individual. The Chief Compliance Officer will obtain verification (or denial) by government agency assigning the exclusion or debarment as listed on the sanction report.
• Finalist will not be considered for hire or to perform any services for or on behalf of DUCOM if they are confirmed as the individual named on the OIG, GSA, OFAC or FDA lists.
• With respect to the research related sanctions lists, it will be necessary for the hiring party to re-evaluate whether the finalist can still be offered a position. This will be done within the structure of the review process and consideration by the Vice Provost of Research Compliance in consultation with the Chief Compliance Officer and the Vice President and Deputy General Counsel.
B.) ONGOING FEDERAL SANCTIONS CHECKS:
• The Chief Compliance Officer is responsible for quarterly screening of sanctions on applicable OIG, GSA, OFAC and FDA websites for all employees (faculty and staff) and vendors.
• Upon determining that an employee or vendor name appears on the OIG sanctions list, a review will be performed by the Chief Compliance Officer to confirm or deny the identity of the sanctioned name as the named employee or vendor according to the following procedure:
• Present the employee or vendor with the findings.
• Consider employee or vendor response to the sanction listing.
• Confirm employee or vendor admission or denial of the sanction with responsible government entity named in the sanction report.
• File for the record if employee or vendor denial of the sanction is accurate.
• Discuss with Department Chair if an employee sanction is confirmed.
• Inform the Vice President and Deputy General Counsel, and as deemed appropriate and necessary by the Chief Compliance Officer, the Dean, Human Resources, Purchasing or other appropriate individuals, if the sanction of the employee or vendor is confirmed to enable appropriate personnel action (reassignment, suspension, termination) and required federal/state disclosure actions. |
